What are the responsibilities and job description for the Financial Planning Client Operations Associate position at Legacy Advisory Group, LLC?
About the Position
Legacy Advisory Group is seeking a detail-oriented, organized, and dependable Client Operations Associate to own the operational side of our practice. This role is ideal for someone who takes pride in getting paperwork right the first time, keeps many moving pieces on track, and wants to play a central role in a growing financial planning firm.
The right candidate will have experience in wealth management operations and be comfortable working with retirement and brokerage accounts, custodian paperwork, and confidential client information. Financial planning is the fastest-growing part of our practice, and this role sits at the center of turning a client’s plan into action.
What You’ll Do
- Account paperwork: Prepare, submit, and track new account paperwork for Individual Brokerage, Joint Brokerage, Traditional IRA, Roth IRA, Rollover IRA, SEP IRA, and Trust accounts.
- Rollovers and transfers: Process 401(k) and 403(b) rollovers and ACAT transfers, following up with custodians and plan providers until each one is complete.
- Insurance and annuities: Handle annuity and insurance paperwork, including surrenders and exchanges.
- Account maintenance: Process beneficiary updates, address changes, distributions, RMDs, and standing money movement instructions.
- Planning support: Gather client account information and enter it into our financial planning software ahead of planning meetings.
- Plan implementation: Carry out the account openings, transfers, and beneficiary updates a client’s financial plan recommends.
- Compliance: Submit paperwork through our broker-dealer, keep client files complete and ready for review, and maintain accurate records in our CRM.
- Follow-through: Track every open item and flag anything stalled, rejected, or missing before it delays a client.
What We’re Looking For
- Two or more years in wealth management operations, a broker-dealer, an RIA, or a custodian
- Working knowledge of retirement and brokerage account types, rollovers, and transfers
- High level of accuracy and the habit of checking your own work
- Ability to keep many open items moving at once without losing track of any
- Discretion when handling confidential client information
Preferred
- Experience with Schwab, Osaic, or another custodian or broker-dealer platforms
- Familiarity with eMoney, Wealthbox, or similar planning and CRM software
- Curiosity about how financial plans come together, and interest in growing your role in planning support over time
The Candidate We’re Looking For
We value people who take ownership, notice details, and close every loop. You should be comfortable working independently on your own task list while supporting a small, collaborative team.
This role is focused on operations and planning support and is separate from our advisor track. No license is required. If you hold the SIE or another FINRA license, that is a plus, and for the right person, we are open to supporting additional licensing as the role grows.
Most importantly, you should understand that every form you process represents a person and a decision that matters to them.
Why Legacy Advisory Group
Financial planning is about more than numbers. At Legacy, we’re a small, family-run firm focused on relationships, trust, and helping people make confident decisions about their future.
As a close-knit team, every person plays a meaningful role. As our planning practice grows, this role will grow with it, with room to take on broader ownership of our operations and a larger part in planning support.
What We Offer
- Full-time employment, in-office
- Four-day, 10-hour work week schedule
- Health insurance
- HSA (Health Savings Account)
- Retirement plan with company match
- Paid time off
Pay: $50,000.00 - $60,000.00 per year
Benefits:
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Retirement plan
- Vision insurance
Application Question(s):
- Briefly describe your experience processing account transfers or retirement plan rollovers. Which custodians or platforms have you worked with?
Work Location: In person
Salary : $50,000 - $60,000